摘 要
21世纪是知识经济的时代，与工业经济时代相比，人才问题受到了前所未有的高度重视，企业间的竟争与其说是产品、技术等方面的竞争，不如说是人与人之间的较量，人才的数量和质量决定了企业的发展。在人才竞争呈现国际化、全球化的今天，我国的民营企业如何吸引人才、留住人才，是关系到企业能否实现持续、稳健发展的重要问题。而解决这个人力资源管理问题的关键就是要建立与完善民营企业的员工激励机制，以达到吸引外来人才、留住优秀人才、激励有用人才、提高组织效率的作用。
本文是在明确民营企业内涵的基础上，首先对激励机制的相关概念、激励机制的内容体系进行了系统分析:其次，对民营企业员工激励机制现状、存在的问题等方面进行了深入分析，从而强化对民营企业员工激励机制的认识:最后，针对民营企业员工激励机制存在的问题，以科学的管理激励理论为指导，同时结合民营企业实际制定出相应的策略，并且对未来的员工激励进行了展望。
关 键 词：民营企业，激励，激励机制，策略，展望。
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河南科技大学管理学院毕业论文 Abstract
The 21st century is the era of knowledge-based economy, as compared with the era of industrial economy, the issue of talents has been an unprecedented level attention, not so much between enterprises of competing products, technology and other aspects of competition, as it is a contest between people , talent determines the quantity and quality of the development of enterprises. During competition for talent show internationalization and globalization of today, China's private enterprises on how to attract and retain qualified personnel, is related to the ability of the business to achieve sustained and steady development of important issues. The solution to this critical human resource management issues is to establish and perfect the staff of private enterprises incentives to attract more foreign talent, retain talent, motivate useful talents, enhance the role of organizational efficiency.
This article is a clear connotation of private enterprise, based on the first incentives related to the concept of incentives to the contents of the system were analyzed: Secondly, the right incentives for private enterprise employees the status quo, existing problems and other aspects of the in-depth analysis, which strengthen the incentives for private enterprise employees knowledge: Finally, incentives for private enterprise employees problems in the management of Western theory of motivation as a guide, combined with the actual development of private enterprises to
the corresponding strategy and future employees to stimulate the outlook.
Key Words： Private enterprises, incentive, incentive mechanism,
strategy and outlook
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河南科技大学管理学院毕业论文 第1章 绪论 .......................................................... 1
1.1研究背景 ...................................................... 1 1.2本文研究的目的和意义 .......................................... 1 1.3本文研究的主要内容 ............................................ 2 1.4员工激励机制的国内外研究综述 .................................. 2
1.4.1国内同类设计概况综述 .................................... 2 1.4.2国外同类设计概况综述 .................................... 3
第2章民营企业中员工激励机制的研究现状 ................................ 4
2.1 人力资源中员工激励的涵义 ...................................... 4 2.2人力资源中员工激励的构成 ...................................... 5 2.3人力资源中激励机制的特征 ...................................... 5 2.4人力资源激励机制的作用 ........................................ 6
2.4.1激发员工积极性和创造性 .................................. 6 2.4.2加强组织的凝聚力 ........................................ 6 2.4.3有利于吸引和留住人才 .................................... 6 2.4.4激励机制有利于提高企业的绩效，实现企业的目标 ........... 7
第3章民营企业员工激励机制出现的问题 .................................. 8
3.1管理中激励方式的落后 .......................................... 8 3.2激励机制方式的问题 ............................................ 8
3.2.1缺乏有效的个体激励机制 .................................. 8 3.2.2 激励形势单一,漠视对员工深层次的激励 .................... 9 3.2.3激励措施针对性不强，结构不合理 ......................... 9 3.3人力资源管理理念薄弱 .......................................... 9 第4章民营企业员工激励机制的改善建议 .................................10
4.1学习和建立现代激励考核方式 ...................................10
4.1.1建立科学、公平、合理的薪酬体系 ........................10 4.1.2加强人员的职业培训 .....................................10 4.1.3建立完整的绩效评估系统 .................................10 4.2激励形式多样化，加强精神层次的激励 ...........................11
4.2.1物质激励与精神激励相结合的原则 ........................11 4.2.2激励的因人而异原则 .....................................11
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河南科技大学管理学院毕业论文 4.2.3正向激励与反向激励相结合的原则 ........................11 4.2.4长期与短期激励相结合原则 ...............................12 4.3深度学习先进的人力资源管理理念 ...............................12 第5章结论和展望 .....................................................13
5.1 结论 .........................................................13 5.2本文研究的不足 ...............................................14 5.3研究展望 .....................................................14 ....................................................................15 致 谢 .............................................................15
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河南科技大学管理学院毕业论文 第1章 绪论
1.1研究背景
中国的改革开放至今已 30 多年了,在这 30 多年里中国民营企业的发展为中国经济的繁荣贡献着自己的一份力量,随着中国正式加入 WTO,中小民营企业在我国经济中占据越来越重要的位置。改革开放三十多年来，我国民营经济从无到有，从
小到大，从弱到强。民营经济从1979 年占GDP 总比重不足1%，到如今占据中国经
济的半壁江山，成为推动社会生产力发展的重要引擎。民营经济经过30 多年的发展， 已经逐步成为我国国民经济成分中最具活力的部分，并呈现出蓬勃发展的大好势头。目前，民营经济提供了近80% 的城镇就业岗位，完成了75% 以上的技术创新，创造了60% 的左右国内生产总值，纳税额占国家税收总额的50% 左右（摘自财经界2014年4月刊）。无论从经济效益还是从社会效益 他们都已经成为一股越来越不可忽视的力量。但是因其性质和发展特点，民营企业一直以来在员工激励方面都处于比较落后的状态。尤其在接受和吸取当今最先进的管理理论。在如今日益竞争的年份,如何规范公司的治理结构,提高民营企业的经营效率,最有效地激励和使用人才将是未来民营企业生存和发展的关键[13]。
纵观中国民营企业普遍存在着激励不够和人才浪费的现状,尤其是许多民营企业仍然执行平均分配的奖酬制度,更不用提员工的业务培训和激励人心的股权措施了,根本无法调动起员工的工作积极性,长期以来由于种种的激励不力,使得员工的权益无法得到很好的保障,加剧了民营企业所有者和员工之间的矛盾,降低了民营企业的经营效率,流失了大量的民营企业人才。这样严重损害了股东或投资者的利益,使民营企业发展停滞不前。
1.2本文研究的目的和意义
民营企业激励机制的研究是一个综合的体系，它包含了有关管理学中一般激励理论，人力资源薪酬管理理论，经济学里的企业理论等。而激励机制是人力资源管理四大机制中最重要、核心的基础机制，是指企业提供满足员工需要的条件，以实现企业组织目标为前提，通过物质和精神等手段来激发和鼓励员工生产积极性和创造性的功能。一个企业如果没有激励机制就像没有发动机的汽车，所以说激励机制在企业经营中具有非常重要的作用。（图1.2.1）对激励机制问题研究有利于拓展民营企业激励理论思路，完善民营企业激励研究。同时全面、系统地理
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河南科技大学管理学院毕业论文 论结合实践，为更好地发展民营企业提供相关的理论指导，增强中小民营企业的凝聚力和市场竞争力，推动经济的发展和社会的进步。
提高员工素质 吸引留住人才 激励机制 实现可持续发展 提高企业绩效 图1.2.1民营企业与激励机制的关系图
1.3本文研究的主要内容
在指导老师的细心教导下，本生通过对人力资源管理专业知识学习和积累，对于企业人力资源中员工激励有一定的认识和了解，并且产生了深入研究的兴趣，也正是在基础理论知识的保障和浓厚兴趣的驱使下，发现民营企业在员工激励机制的实施中有不足和弊端，开始研究激励机制在企业运营中的应用。
为了研究激励机制在民营企业运营中的应用，积极查阅资料，研究案例，根据自己掌握的知识去了解当代民营企业员工激励机制的现状，发现其中出现的问题，以及通过所学知识与实践来研究如何来解决出现的问题，从而提出员工激励机制的改善在企业运营中必要性和可行性。
1.4员工激励机制的国内外研究综述
1.4.1国内同类设计概况综述
贾玉文，在武汉大学学术动态综述中发表了《生产力研究报告》（2010），
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河南科技大学管理学院毕业论文 其中讲述了中小企业员工激励的具体措施：运用薪酬、福利激励；运用职位、机会激励；运用培训激励；运用股权激励；运用企业文化激励。
王汉忠，在管理科学中发表了《国有企业员工激励问题的研究》（2013）提出在现有的理论基础的情况下，提出对激励机制的设计的思想。首先运用层次分析法对国有企业激励情况的调查；第二以经济利益为核心、建立科学公平的薪酬体系；第三建立科学的员工考核评价体系；第四利用竞争手段，激活国有企业用人机制；第五进行职业生涯设计，才能留住人才，吸引人才；第六物质与精神兼顾，实行全面激励。
陈芳丽，在科技视界中发表了《从学习型组织视角看中小型民营企业员工激励》（2011）中提出企业若想成功不管是处于哪个阶段哪种状态什 样的环境都应 重视学习型组织的理 和实 在 基础上提高对员工的激励水平激发员工的创造性提高员工工作积极性 。
石吴珊，在湖北学报上阐述了民营企业要想在纷繁复杂的市场中获得生存发展，必须拥有自己的竞争优势，只有科学合理的规划民营企业中的人员激励方案，充分激发员工的工作积极性及潜能，最大限度的吸引人才、留住人才，发挥人才的效用，才能保持与竞争对手持久的竞争优势，才有可能在未来的市场竞争当中取得主动的地位。
1.4.2国外同类设计概况综述
“基本需求层次理论”是美国著名的心理学家和行为科学家亚伯拉罕·马斯洛（Abraham Maslow) 1943年在《人类激励理论》论文中提出的马斯洛认为人的需求由低级到高级，呈阶梯状上升，依次分为五个水平：生理需要、安全需要和保障需要、归属和社交需要、尊重和地位需要、自我实现和满足。需要层次理论基本符合人类需要的共同规律和多样性的特点。但是大多数人的需求结构很复杂，无论何时都有许多需求在影响着人们的行为，同时个体需要的满足过程并不是一个很规范的由低到高的过程，同一时期，一个人可能会有多种需要，但每一个时期又总有一种需要占据着支配地位，对行为起着决定作用当然，有些人始终停留在较低层次的需求，而有些人则有更高层次的需求。因而也成为马斯洛需求层次论。
双因素理论是美国行为科学家和心理学家弗雷德里克.赫兹伯格(Frederick Herzberg)提出的，他认为可以对员工产生影响的主要有两种因素，即保健因素和
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河南科技大学管理学院毕业论文 激励因素。保健因素指的是会使员工产生不满足感的因素，激励因素是指能能使员工产生积极的态度、感到满意并产生激励作用的因素，包括成就感、认同感、工作的挑战性、成长和发展的机会等因素。但激励因素即使管理层不给予其满意满足，往往也不会因此使员工感到不满意，所以就激励因素来说：“满意”的对立面应该是“没有不满意”。因此企业在进行薪酬设计时，首先应明确哪些因素属于保健因素，哪些属于激励因素，在此基础上制订的薪酬政策才能更加充分地激发员工的工作积极性。
大卫.麦克利兰(David Maclellang)提出了当代激励理论，即著名的成就需求论，即成就的需要、依附的需要、权力的需要。他指出，有着强烈成就感学要的人，是那些强相遇成为企业家的人；有着强烈依附感的人，是成功的“整合者”；而有着强烈权力需要的人，是那些有机会晋升到组织的高级管理层。
美国心理学家V.弗鲁姆（Victor Vroom)对激励问题进行了比较全面的研究，提出了激励过程的期望理论。期望理论认为只有当人们预期到某一行为带来的有吸引力的结果时，个人才会采取特定的行动。而有效的激励取决于个体对完成工作任务以及接受预期奖赏的能力的期望。
第2章民营企业中员工激励机制的研究现状
2.1 人力资源中员工激励的涵义
管理学中对激励的定义是通过运用各种方法来调动员工的工作积极性，激发员工潜能，使员工积极工作来完成组织既定的目标。把企业目标与员工需求相结合，员工为了满足自身需求，在“激励”这种内驱力的驱动下，通过不断满足自身需求的同时来实现企业目标。从动态意义上来讲，激励意味着要通过各种行为措施来不断满足员工的需要，从而最大限度地调动员工的工作积极性[14]。通俗地讲，这种动态的激励就是通过启动、激发、指导和维持某种行为的内存心理来设法调动员工工作积极性的过程与方法，从静态的意义上来讲，激励就意味着要能够激发人们长久努力工作的内在动因，从而激发出人们坚持某种行为的力量。这里的静态激励就是所谓的激励因素。激励的方式具体可以分为内在和外在激励，外在激励多指由较高的薪水和较好的工作环境来促进员工努力工作实现个人及企业目标。内在激励是通过激发个人的满足感和成就感，从而来激励自己努力工作，实现目标。
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河南科技大学管理学院毕业论文 2.2人力资源中员工激励的构成
（1） 薪酬福利激励
员工进入企业工作的主要目的之一,就是要获得一定的物质报酬。在企业里,报酬的高低甚至可以代表员工的价值大小。另外,应设定具有激励性质的福利项目,如宿舍、餐厅、健身设施等。
（2） 股权激励
股权激励把公司的股份作为奖励员工的工具,是一种先进的激励方法。民营企业若能根据自身的实际情况灵活运用股权激励(如:用部分股份留住企业核心人员(并吸引优秀人才,实行员工持股和股票期权制度将职工的未来收益、养老计划和公司股值联系在一起) 那么员工将更重视企业的利益和资产的保值、增值,这样可以把个人利益和企业利益统一起来,达到双赢。
（3） 环境激励
环境激励是指通过改善工作环境、生活环境和人际环境等来吸纳和稳定人才。如,在冬天能够为企业的员工安置好取暖设施;在夏天为员工提供相应的防暑降温的条件;以及,生产制造型企业为操作工人提供淋浴等卫生设施;通过组织员工旅游等集体活动,增进员工间的交流和理解等。
（4） 事业激励
事业激励是指企业的发展前景让人才感觉有吸引力、值得留下来,并为之奋斗和努力。要达到事业激励,民营企业应做到以下两点:第一,为企业的员工提供其相应的工作,即适合自己、工作量适中、有挑战性的工作;第二,为企业的员工提供学习以及参与管理的机会。
（5） 感情激励
首先要给予员工恰当的信任和自主权。即,企业应该给予员工更大的信任和自主权作为最重要的激励手段。其次要营造有归属感的企业文化。
2.3人力资源中激励机制的特征
（1）公平性。激励机制的最基本原则是坚持公平公正，企业的上下层，在企业利益面前都应是一视同仁的，公平的给予奖惩，激励机制才有效果。
（2）针对性。不管是物质激励还是精神激励，都要坚持实事求是的原则，针对性的对员工进行奖惩。
（3）及时性。激励要及时，企业要及时的对员工鼓励与鞭策。管理者必须及时地对员工的工作成就等进行反馈，进行绩效考核。
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河南科技大学管理学院毕业论文 （4）一致性。企业的目标是一致的，激励是一种刺激，要明确目标，使员工知道自己该做什么，怎样做，做的意义，为企业的目标而奋斗。
2.4人力资源激励机制的作用
2.4.1激发员工积极性和创造性
企业的竞争实力是以绩效的完成情况来衡量的，二企业绩效的完成却绝育员工绩效的完成情况，所以，要对员工进行激励，满足员工的需求，充分调动他们工作积极性，促使其充分发挥主观能动性，激发他们的工作激情，提高个人绩效，从而提高企业的整体绩效。
激励是挖掘人的创造力潜能的重要手段，如果员工的工作环境中缺乏激励机制的刺激，那么他们的创造力潜能就只能发挥出25%左右，而利用激励机制进行刺激则其创造力潜能的发挥程度可以高达90%左右。有效的激励手段可以调节和控制人的行为能力和行为趋向，使人不断学习和进取，通过不断提高自己的素质，创造新的业绩。 2.4.2加强组织的凝聚力
研究发现，激励个体的某种行为可以导致或消除某种群体行为的发生，对于个体的激励不仅仅对个人有刺激作用，同时这种刺激也可以间接地影响周围的人。通过个体的激励可以形成一种竞争气氛，这种竞争氛围对整个组织有着重要作用。企业适时地对员工进行激励和肯定，关心员工所需，关注员工发展，员工就会感到自己受到重视，从而感到组织的温暖。这样一来，人人都会对自己所在的组织感到感恩，从而形成良好的企业氛围，这种氛围互相影响、互相传递，就会提高组织的凝聚力。
2.4.3有利于吸引和留住人才
一个拥有众多人才的企业就会具有更高的竞争力，那么怎样才能吸引和留住人才呢？这就需要从人才的职业需求为出发点来考虑。员工就职的首要目的就是取得薪酬来提高生存能力和生活水平，企业要想留住人才不能只靠空洞的口头奖励或者是许下空头支票，而是应该给予其实质性的奖励，例如通过丰厚的薪资和
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河南科技大学管理学院毕业论文 福利待遇，提供各种优惠政策，给员工提供快捷的晋升途径和更多的晋升空间，这些有效的激励机制都是吸引人才并留住人才的关键。企业通过有效的奖励还可以在社会上获得良好的口碑，因此就更能吸引人才的加入，形成一个良性循环系统。
2.4.4激励机制有利于提高企业的绩效，实现企业的目标
实践证明，绩效的好坏与员工的技能、态度、企业的环境等有很大关系，其中态度发挥着非常重要的作用。美国哈佛大学组织行为学教授詹姆斯曾对2000多名员工进行测试，他发现，同样的一个人在缺乏激励时仅仅能发挥其实际工作能力的20%～30%,而受到充分激励时，他们的潜能却可以发挥出80%～90%。不难看出，激励能够很大程度上激发员工的潜能，提高员工的工作热情，使其发挥潜能和智慧。有效的激励机制就是良好的竞争环境，在这样的环境下，员工可以产生一种转化为工作动力的压力，，员工努力的结果自然是绩效提高。由于绩效提高，企业利润增加，反馈给员工的回报也多，员工就更加努力的工作。这是一种良性循环可以达到企业和员工的双赢（图2）。所以，可以通过激励来激发员工的创造性与革新精神，提高员工努力程度，取得更大业绩。另外，在良好的激励机制下，企业的员工会总是表现为积极向上的精神面貌和高度的工作热情，这也正是企业实现目标的关键所在。
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力工作 激励环境 高、企业利润增
员工回报增加 河南科技大学管理学院毕业论文 图2在激励环境下，企业与员工“双赢”的良性循环图
第3章民营企业员工激励机制出现的问题
3.1管理中激励方式的落后
目前，我国大部分民营企业人力资源管理还处于传统的人事管理阶段，企业的所有权、决策权和管理权高度集中在企业主手中，家庭成员在企业中居于要位，包括高层、中层、低层的管理层级制度[1]。家族成员普遍歧视非家族员工，把员工当作工作的机器，又不重视工作场所的安全，管理时采取简单、粗暴的手段；缺乏让员工参与企业民主管理的意识，对员工积极的、合理的建议置若罔闻，挫伤了员工参与管理的积极性，导致工作效率降低或人才的流失。
其次是在用人上只要忠诚，不看才能。缺乏留住高素质人才的政策和措施，这对企业的长远发展是非常不利的。对于民营企业来说，高素质的人才是其生存与发展的基础，是实现企业技术与管理创新的生力军。如果他们在企业里得不到应有的尊重和信任，其自我在工作中得不到实现的时候，他们自然就缺乏工作的积极性，进而就影响到工作的效率和企业的发展。
3.2激励机制方式的问题
3.2.1缺乏有效的个体激励机制
在民营企业里，普遍存在的问题有两个：一方面，大多数民营企业过于依赖组织中的管理制度和管理程序来约束员工完成的任务。为此甚至延长劳动时间而不计加班报酬，或者剥夺员工公休假的权利，造成员工内动力不足，积极性不高；另一方面，在激励手段的运用上，通常只采用加薪方法，认为只要员工的薪酬提高了就可最大限度地发挥其潜能，而没有考虑员工的精神等高层次需求[10]。
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河南科技大学管理学院毕业论文 3.2.2 激励形势单一,漠视对员工深层次的激励
我国民营企业有的主要是物资激励,忽视了精神激励对员工的激励作用,在一定程度上压抑了员工的积极性,产生激励与需要的错位。有的民营企业以空洞的精神激励调动员工的积极性,这更难以产生真正的持续激励。民营企业形成了以物质激励，主要是员工资和奖金为主,辅之以各项规章制度的执行,但这种激励机制的执行力度与员工的付出、要求有所差距,引起了员工的不满;同时在一定程度上又忽视了精神激励、情感激励。特别是对民营企业核心员工，这些人掌握了公司的核心技术、重要资源，对公司的发展具有极大的潜在价值，狭窄的晋升渠道、简单的优秀表彰方式无法满足他们的真实需求，无法体现他们的个人价值，无法提高其工作的兴趣及积极性，降低了激励的作用。 3.2.3激励措施针对性不强，结构不合理
随着市场经济体制的确立，我国民营企业员工工资开始与市场接轨，经过加薪，我国民营企业员工的收入也越来越具有吸引力。但是，从目前来看，在执行物质激励的时候，缺乏更多的有效手段选择，更多的时候加薪似乎成为唯一选择。不同地区的民营企业员工收入存在较大的区别，但在同一地区不同部门、不同职务、不同级别民营企业员工的收入却没有明显差别,以通过工资来体现激励机制，奖勤罚懒，激励能干的、高效的、有才干的，调动民营企业员工的积极性，民营企业对员工的最佳需要的捕捉仍然停留在简单的粗略估计上,没有科学的需要分析为基础,结合公司自身的特点来制定激励政策和措施,因此有些激励政策缺乏针对性和及时性,激励空挡现激措施不当的错位现象,造成了人力、物力资源的浪费
[9]
。比如,个人绩效是企业奖惩的依据仍有相当部分民营企业对员工的个人业绩考
核仅仅取决于领导者和管理者的主观判断和主观评价。
3.3人力资源管理理念薄弱
激励体系中除了薪酬激励以外，还包括员工的培训与发展、企业文化、绩效考核等方面的激励制度。从目前来看，我国民营企业在企业管理中，还没有构建这样体系化、健全的激励机制，更多是采用薪酬福利去赢得优秀的人力资源。但如果只是高工资，没有让员工认同企业文化、员工没有在企业获得成就或发展，
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河南科技大学管理学院毕业论文 很难使员工对企业忠诚，到最后反而因为高福利待遇增加了企业成本，企业得不偿失[12]。
第4章民营企业员工激励机制的改善建议
4.1学习和建立现代激励考核方式
4.1.1建立科学、公平、合理的薪酬体系
首先民营企业在管理过程中要建立科学合理的薪酬体系：薪酬是员工为企业做出贡献后的回报，是企业鼓励员工长期稳定为企业发展所表示的态度，通过薪酬来满足员工的基本需求，从而引导员工为企业目标的实现做出最大的贡献和努力。因此，企业在设立企业战略目标时，要充分考虑企业自身的特点和员工的个人需求，使两者相结合，建立公平、合理的薪酬体系，使个人目标和企业目标能够共同实现[20]。其次，确定员工薪酬需要综合考虑以下几个原则：薪酬政策的对外竞争性；薪酬的对内公平性；薪酬设计一定要结合民营企业自身的实际支付能力，与时俱进。
4.1.2加强人员的职业培训
对民营企业来说，除了合理的薪酬体系外，同样重要的是加强员工的培训，给员工充分的学习机会，让他们在公司这个大舞台上充分发挥自己的才能，不断提升综合能力。企业要发展必须依靠自己的员工，所以就必须对企业人才进行劳动技能和管理技能上的培训，员工能力的提升，才能保证企业的可持续发展，获得竞争优势。但是现在大多民营企业缺乏对员工培训和教育的机会，认为这是一笔不必要的高额成本。民营企业应该正视这个问题，要知道现在的投资在将来一定会有回报，通过对员工的培训和教育可大大增强企业的创新能力，使企业能与时俱进发展[2]。
4.1.3建立完整的绩效评估系统
绩效评估也是企业的一个重要激励手段，但许多民营企业却忽略了这一点。民营企业建立必要的人力资源管理制度，在工作分析的基础上，结合自身特点设
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河南科技大学管理学院毕业论文 置岗位，明确岗位职能与责任[4]。这样不但可以有效避免工作指派上的随意性，而且能克服招人用人的盲目性，也为员工业绩考核提供了客观公正的依据，有利于充分发挥组织效率。不少企业的内部管理失效，归根到底就是没有建立相应的管理制度。事实上，制度化和灵活性是相辅相成的，关键在于将灵活的机制纳入制度之中。同时，制度必须有利于组织的协调，坚决摒弃“末位淘汰制”之类严重挫伤员工积极性的制度。
4.2激励形式多样化，加强精神层次的激励
4.2.1物质激励与精神激励相结合的原则
物质激励是一种可量化的激励方式，如：工资、奖金、福利、津贴等；精神激励是一种不可量化的激励方式，如：荣誉、赞许、晋升等。物质激励是激励的基础，而精神激励是物质激励的根本。物质激励与精神激励不能偏向某一方面，是需要有机地结合起来，能使激励机制平衡[11]。 4.2.2激励的因人而异原则
要根据员工的不同偏好，施与不同的激励措施。也就是说，把员工的需求作为激励机制建立的出发点，因人而异的制定激励的手段，才能使激励起到事半功倍的效果[3]。具体到实践中，每一个人的需求和认识不同，对事物的理解也就不同。如给予偏好货币收入的人以高报酬或多发奖金，给予偏好名誉地位的追求者更高的地位。总之，企业应根据员工的不同偏好施与不同的激励措施，避免单一激励措施滥用的现象，这样才会起到更好的激励效果。 4.2.3正向激励与反向激励相结合的原则
在实际工作过程中，不是每一个员工的工作都是令人满意的，这个时候就需要实行反向激励，反向激励的实行需要掌握一定的尺度，因为反向激励如果过重就会使员工产生逆反的心理，进而做出更加不堪的行为来；如果方向激励恰当，却反而使员工痛定思痛，矢志不移的朝着企业目标而努力工作，所以在激励机制的实施过程中，要使正向激励与反向激励有效地结合起来，才能使激励机制更好地发挥效用[16]。
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河南科技大学管理学院毕业论文 4.2.4长期与短期激励相结合原则
长期激励对于一个员工来说是非常实用的．它可以使员工在不同时期不同状况下能够长久的保持一种积极的工作劲头，但是短期激励也是必不可少的，因为阶段性的激励更能使员工感受到企业的人性化管理，这会使员工突增工作兴趣，提高工作效率[7]。因此，在激励机制的实施中要充分结合长期激励与短期激励，这样才能更好地实现激励目标。
4.3深度学习先进的人力资源管理理念
（1）整体性理念。根据一般系统论的观点，系统的整体形势最核心的观点。要使系统输出达到组织目标，并把整体目标优化作为根本的出发点。使得“人尽其才，物尽其用，财尽其利，信息尽其所能”的优良效果[18]。
（2）开放性理念。人力资源系统的开放性是系统不断与环境进行物质、能量和信息交换的特征。管理系统有输入和输出，属于开放系统。开放性理念表明，人力资源管理系统是由人、物、财信息组成的有机整体。开放形势这个系统走向有序状态的必要条件，即要求这个系统吐故纳新，不断从环境输入自己需要的人、财、物、信息，才能有效地输出产品和服务，才能实现管理系统的有效运行[6]。
（3）层次性理念。人力资源管理系统的结构使系统中各要素之间的稳定联系，系统的层次性使系统结构有序性的表现。
（4）动态性理念。一个有机系统，稳定状态是相对的，运动状态是绝对的。运用动态性理念，加强对组织内外环境的调查研究，分析、预测管理系统的发展趋势，树立超强意识，抓住机遇，掌握主动。因时、因地、因人制宜、不断调整，使管理系统向预期的目标顺利进行。
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河南科技大学管理学院毕业论文
第5章结论和展望
5.1 结论
在中小型民营企业,随着企业的发展和人才结构的复杂化,对核心员工来说,报酬不仅是一种谋生手段,或是获得物质及休闲需要的手段,更是一种人们的自我满足和自尊的需要。单一的薪酬体系已不能满足核心员工的多样化需求,原有的薪酬体系必须做出调整。如考虑合理地设计核心员工持股公开同样岗位的市场工资水平、增加外出培训机会、增加额外的保险与福利、或者改善作环境、提供良好的休假以及员工娱乐等。对于核心人物员工关键字是要留住他们的心，通过各种方式努力提高员工的内在激励,增强员工对工作本身的兴趣,以此形成推动力,促使员工充分发挥自己的潜能。
总而言之，激励对一个组织的生存和发展有着非常重要的作用，而激励机制的建立和完善对现代企业的发展更为重要。面对着激烈的国内外经济竞争和我国现代企业本身固有的劳动者积极性不高、生产率低下等情况。激励对于调动企业全体员工的积极性起着关键的作用，如何建立一个适应企业实际情况的激励机制显得格外重要。企业应从一些实际常见的企业激励问题分析出发建立一个有效可行的激励机制。
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河南科技大学管理学院毕业论文 5.2本文研究的不足
本研究存在实际搜集信息的局限性以及社会发展的动态性，人力资源中激励机制的研究不够透彻，可能与实际现实工作中的机制机制略有误差。实践是检验真理的唯一标准，在真实工作管理中才能发现更加符合时代需求的激励机制。仅在知识基础上作修正，是无法与社会发展相适应的。本研究可能考虑得不够全面，希望能在以后的研究中逐步完善。
5.3研究展望
民营企业一定要根据时代特点和市场需要，根据人力资源管理知识，深刻学习如何激励员工，从员工的潜力、潜能和工作热情出发，把握其心理动态，真正建立起适应企业特色、时代特点和员工需求的激励机制。我也会继续努力，仔细调查，理论与实践相结合，争取把人力资源管理中激励机制更加完善，更加全面，更好的为民营企业的发展做出贡献。
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[2]石吴珊.浅谈民营企业人力资源激励问题[J].湖北成人教育学院学报,2013,19 [3]姜希风.浅谈电力企业的激励机制[J].民营科技,2011,(8):218.
[4]吕微,唐伟.国有企业知识型员工激励机制研究[J].经济问题,2012,(12):57-60. [5]冯绍红,李东.基于工作价值观的公共科技服务员工激励探析[J].中国行政管理,2012,(3):81-83.
[6]贾玉文.C[J].生产力研究,2010,(2):242-244.
[7]单国旗.情感账户的储存及盘点对员工激励的影响[J].华南师范大学学报（社会科学版）,2010,
[8]陆辉.试论现代企业管理中员工激励存在的问题及应对措施[J].前沿,2012, [[9]陈晓燕.浅谈民营企业员工激
励,2013,(12):206-206.DOI:10.3969/j.issn.1673-8209.2013.12.123. [10]严大庆.企业员工激励机制研究[J].中国化工贸易,2013,5(z2):95.
[11]艾战胜.浅谈我国企业留用员工的举措——以美、日企业员工激励措施为借鉴[J].企业经济,2007,(1):62-64.DOI:10.3969/j.issn.1006-5024.2007.01.018.
[12]陈芳丽.从学习型组织视角看中小型民营企业员工激励[J].,2013,(30):279-279,272. [13]王汉忠.国有企业员工激励问题的研究[J].,2013，
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河南科技大学管理学院毕业论文 [14]汤涌.中小型民营外贸企业人力资源管理中激励机制研究[D].导师：蒋勇.华中农业大学,2013.
[15]王冲.企业员工激励机制研究[D].导师：王发清.河南大学,2013.
[16]刘晓丽.民营企业知识型员工激励机制研究[D].导师：王淼.中国海洋大学,2007. [17]陈丽.中小民营企业员工激励机制研究[D].导师：袁洁秋.中国海洋大学,2009. [18]包铭.民营企业员工激励机制及激励措施研究[D].导师：马克立.吉林大学,2005. [19]沈红梅.我国民营企业人力资源激励机制研究[D].导师：樊根耀.长安大学,2006. [20]陈福亮.扁平化组织中员工激励机制研究[D].导师：王东.中南林业科技大学,2011.
致 谢
时光荏苒，岁月如梭，不知不觉，我在河南科技大学四年的学习生活就要结束了。这四年时光，我感觉非常充实，每每回忆，就仿佛如昨日一样历历在目。至此，我要向陪伴我度过这大学时光的老师同学和支持我的家人递上我真挚的感谢。
感谢父母对我大学四年的默默关心支持，感谢我的母校，让我在这大学四年的美好时光中学习了非常多的知识，结识了众多的良师益友，为我以后工作生活作好了铺垫。这次毕业论文的编写我得到了老师和同学的大力帮助。特别要感谢我的指导老师，杨玫老师一直以来都以其严谨的作风，高深的理论修养，高尚的师德深深地影响着我。在我写这篇毕业论文的每个阶段，从一开始的选题到查阅文献，中期的内容修改，后期的格式调整等各个环节，老师都给与了细心的指导，才使我得以最终完成我本科阶段的最后一次也是最重要的作业。
回顾整个论文写作的过程，我也深深地感到了自己能力的欠缺。这也更加鞭策我在以后的学习生活中，更加注重知识的学习，经验的积累以及个人品格的塑造。再次向帮助过我的老师和同学们表示诚挚的谢意！
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河南科技大学管理学院毕业论文
Effective Financial Incentive Mechanisms: An Australian Case
Study
Timothy Rose and Karen Manley ABSTRACT
The use of financial incentives in construction projects has been seen as a way to improve short term motivation, collaboration and reinforce long term commitment between project stakeholders. Yet, very little empirical research has been conducted into how financial incentives should be applied in the context of particular project types in order to maximise their effectiveness. The aim of this research paper is to identify the motivation drivers that influenced the effectiveness of financial incentives in an Australian Government large building project and to explain their characteristics in the project context. As part of a larger research project, this case study was undertaken to explore the perceptions of senior construction managers in response to a failed Financial Incentive Mechanism (FIM) in a relationship-based procurement environment. It was found that the strength of the financial reward on offer was not the major determinant of FIM effectiveness. Instead, a range of context dependent influences are identified and five key recommendations likely to improve the effectiveness of an FIM on similar projects are proposed. KEYWORDS: Financial Incentive Mechanism, Building Project, Contracts, Motivation, Australia 1. INTRODUCTION
FIMs built into a project contract aim to promote motivation and to reward contracting parties for achieving improved performance above ‘business as usual’ (Washington, 1997). The types of FIMs applied in large building projects include:
CIB World Building Congress 2007 241• Profit sharing incentives. Profit sharing incentives operate around
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河南科技大学管理学院毕业论文 a target construction sum (TCS), where cost savings from the actual construction sum (ACS) are distributed between the client and the contracted parties in pre-determined portions (Broome & Perry, 2002).
• Performance incentives. Performance incentives are offered on the achievement of set performance targets that are related to specific project goals (Bower et al., 2002). This financial incentive type can be applied to a number of performance goals such as technical goals (e.g. safety, training, operation, non-disturbance, quality of work) and schedule goals (practical or actual competition prior to a target completion date).
• Mixed incentives. Financial incentive mixes are characterised by the combination of profit sharing (cost outcome) and performance
financial incentives. Multiple incentive mixes can include a multiobjective system, where the total incentive amount awarded to
participants is the sum of the partial incentives, and the partial loss of one of the incentives does not affect the opportunity of attaining the other bonus amounts (Lahdenpera and Koppinen, 2003). Generally, it has been identified from Australian construction industry reports that procurement approaches that include equitable incentive mechanisms applied across the entire project team are recommended to improve the performance within this industry (APCC, 1997; Sidwell et al., 2002). Further, a major report by the Australian Procurement and Construction Council found that governments, as major clients, are in an ideal position to promote industry development by leading the way in their own procurement initiatives, including the use of ‘compatible incentive regimes’ (APCC, 1997). The report argued that government clients should be seen to be achieving the best ‘value from money’ from tax revenue for the social and economic benefit of Australian citizens. They should also provide a best practice model for the private sector to emulate. This paper aims to assist Government client’s in the application of FIMs by outlining the motivation drivers that have influenced project performance in a large scale building project. The paper also fills a gap in the literature by providing a more detailed understanding of motivation under FIMs on
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河南科技大学管理学院毕业论文 construction projects, than has previously been available. The qualitative findings reported here provide a robust basis for the design of quantitative measures to be applied on multiple projects in future research. 2. FINANCIAL INCENTIVES AND THE PROJECT CONTEXT
There is currently a simplistic view within the construction literature that the motivation is automatically assured if a financial incentive mechanism is present in a construction project (Bresnen & Marshall, 2000). It is argued in this paper that due to the complexity of the motivational environment,
242 CIB World Building Congress 2007incentives can in fact fail to promote the desired level of motivation and
commitment if not strategically applied in consideration of the project context.
Large-scale building projects are characterised by ‘one-off” designs that are constructed in a unique location with a wide variety of project stakeholders connected by a complex array of contractual relationships (APC, 1999; Cole, 2002). As each large-scale building project is unique, it is important to determine the influence of context on motivation drivers and FIM performance. The following case provides an example of failure and the negative motivation drivers that influenced its failure, shedding new light on the dynamics between the FIM design and the project environment. The case is an example of an Australian large-scale building project commissioned by a government client under a relationship-based contract containing FIMs. 3. CASE PROJECT
A case study approach was selected as the most appropriate method to explore the complex subject of motivation on construction projects, given the absence of relevant, substantive pre-existing research in the literature. The data was collected through semi structured interviews with eight senior managers from four stakeholder groups, comprising client, managing contractor, consultant and subcontractor. Each interview was undertaken over a period of 90 minutes or more. The primary data comprising the interview transcripts were supported by secondary data such as project and contractual documentation, industry publications and site visits. The data was manually analysed and coded into motivation
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河南科技大学管理学院毕业论文 drivers according to the research conceptual framework. The data were collected between March and June, 2005.
The project was an Australian government 14-story non-residential building with a construction cost of $130+ million. It was a landmark project with a complex and novel design. Despite contractor and consultant budget problems during the project, the project team successfully achieved the mandatory requirements in the contract, by meeting time and quality objectives. However, FIM goals beyond these mandatory requirements were not achieved.
Procurement approach and FIM design
The procurement approach on the project was a Managing Contractor – Design and Construction Management – Guaranteed Construction Sum (MC – D+CM (GCS)). Under this procurement approach, the managing contractor was appointed by the government client at the end of schematic design stage, through a competitive tendering process. The contractor was CIB World Building Congress 2007 243appointed to manage the design documentation and construction of the
project, based on a selection process that, unusually, emphasised nonprice criteria (70% weighting) over price criteria (30% weighting). The
tender was based on the conceptual brief and schematic design developed by the client and the consultants prior to the managing contractor’s engagement. Once the managing contractor was appointed, they took on the responsibility to manage the design documentation through the design consultants who were novated across to the managing contractor. During this stage, the government client maintained control over the design process. It was a requirement under the contract that client representatives approve all design changes nominated by the managing contractor, considering the original project brief, schematic design, program and cost plan.
Once design was complete, the managing contractor managed the construction trade packages and provided ongoing management to the consultant’s production of construction documentation. The managing contractor held the majority of risks for design and construction cost overruns as they were not entitled to price adjustments under their design
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河南科技大学管理学院毕业论文 and documentation management fee, their construction fee or the nominated Guaranteed Construction Sum (GCS), which in combination comprised the Target Construction Sum (TCS) agreed during tender stage. Therefore, if actual costs exceeded the TCS amount, then it was the managing contractor’s responsibility to absorb these cost overruns. This procurement approach requires the managing contractor to have efficient cost management skills, as in most cases the contractor bids on partially completed documents to propose to the client a construction sum that will not be exceeded (Hampson et al., 2001). FIMs are suited to this procurement approach if there is potential to bring the actual construction costs in below the target construction costs (and then share savings). The financial incentive mechanism in the project was a
performance-based FIM. It involved an incremental allocation from an incentive pool of $1.6 million built into the original project budget. The incentive offer was based on the completion of specific ‘stretched scope’ construction items outside the mandatory scope of the contract. Overall, the FIM was intended to motivate the managing contractor, the consultants and subcontractors to achieve savings below the TCS and complete the stretched scope work items. Thus, if they saved money below the TCS and redistributed that money into the completion of the stretched scope, they received a share of the incentive pool. The incentive pool allocation was based around an exponential measurement equation. Therefore, the more stretched scope items completed, the larger the allocation percentage, up to a cap of $1.6 million for all items. It was intended that the FIM be distributed to the managing contractor, consultants and major
subcontractors, based on how much each contributed to achieving the stretched scope.
244 CIB World Building Congress 2007Relationship management
Common to the ‘Managing Contractor’ procurement approach, the project had extensive relationship management arrangements built into the project agreements. These arrangements encouraged the project participants to act as a single unified team, to foster relationships across organisational boundaries and to avoid adversarial behaviour. The relationship management process involved relationship workshops to develop team
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河南科技大学管理学院毕业论文 mission statements and introduce new team members to relationship management principles. There was a one day workshop prior to the commencement of site-work, involving the client, managing contractor and key consultants. Following this, there were monthly follow-up reviews involving the same stakeholders to monitor relational quality and teamwork. The contracts dictated that all team members would act in good faith towards one another for the betterment of the project. The contract set out a clear dispute resolution process to prevent problem escalation. Relationship workshops and monthly relationship surveys were conducted to induct new team members and to assess the overall ‘health’ of the relationships via key performance indicators set out in the contract. The market conditions
The managing contractor and their team of consultants and subcontractors experienced significant financial pressures during the construction stage. Market prices were rising sharply between the time that the GCS was agreed and the time the subcontractor pricing was agreed. The market rise was due a major increase in demand in the larger residential building market, which filtered across to the non-residential market in the major trades, particularly the key structural and finishing trades. This resulted in a major battle for the project parties, particularly the managing contractor, to complete the project within the TCS. To counteract these rising costs, the project team undertook comprehensive value engineering exercises, which resulted in approximately $5 million worth of construction savings with client approval.
Due to the difficulty in completing the mandatory project scope within the TCS, it was perceived that it was unlikely that the team would complete any of the stretched scope work items, and therefore would not be eligible for any of the $1.6 million bonus pool. 4. MOTIVATION DRIVERS
In this paper, the ‘motivation drivers’ are defined as the drivers that have impacted on the level of motivation towards the achievement of the FIM goals. The motivation drivers were identified and analysed using an inductive case study approach utilising constant comparative analysis
CIB World Building Congress 2007 245across primary and secondary data
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河南科技大学管理学院毕业论文 sources. The fieldwork was based on a
conceptual framework developed from a comprehensive literature review into psychological and economic motivation theory and financial incentives in construction projects. For further information on the research conceptual framework please refer to Rose & Manley (2005). Positive motivation drivers
Although the FIM applied in the case project was deemed a failure by the client, there were aspects of the project conditions that were perceived to have a positive impact on motivation towards completion of the stretched scope incentive goals. Table 1.1 describes the positive motivation drivers identified from the interview data.
Interview data indicate that the project workshops were effective in developing harmonious project relationships and in promoting motivation and commitment, despite the failure to achieve the FIM goals. According to the client, managing contractor and consultant representatives, the relationship workshops enhanced the project relationships, which in turn improved their ability to deal with financial pressures on the project and contributed to the successful achievement of the client’s mandatory time, cost and quality objectives. The managing contractor and consultant representatives also felt that the client representatives were willing to fairly approve cost saving design changes to alleviate some of the financial pressures on the managing contractor.
Motivation was also intensified by future work opportunities. For the managing contractor, this instilled a sense of commitment to the project, particularly as the client undertakes repeat work in the industry, and generates a substantial proportion of the building work in the Australian state concerned. Further, the managing contractor has a history of working with the client, creating a strong and direct motivation to protect and extend future work opportunities through successful delivery of an iconic project. The managing contractor and consultant representatives were initially driven to complete the stretched scope goals, not only by the financial incentive reward on offer, but by the desire to maintain and improve their reputation with the Government. Table 1.1 Positive Motivation Drivers
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河南科技大学管理学院毕业论文 Motivation Driver Description Relationship Workshops
Initial relationship workshops assisted the formation of strong project relationships and established a ‘best for project’ team culture, driven by the relationship management requirements of the project agreements.
246 CIB World Building Congress 2007Client Flexibility Client representatives were willing to approve cost saving
design changes to alleviate the financial pressures on the managing contractor, in part driven by the ‘act in good faith’ contractual obligation.
Future Work The desire by stakeholders to improve their reputations, through successful delivery of an iconic project, increased the attractiveness of achieving greater than ‘business as usual’ performance.
Value-driven Selection A value-driven tender selection process, with an unusually high
(70%) weighting on non-price criteria, generated a desire by the project team to prove that the system worked and that the client’s selection of them was justified. FIM Reward Distribution
Under a team agreement, the financial incentive reward was on offer to all major project team members who had input to achieving the stretched scope work items, including subcontractors.
Another positive motivation driver in the project was the value-driven selection process that was measured on 70% non-price criteria. The client, managing contractor and consultant representatives perceived that the selection process positively promoted initial motivation towards the FIM goals. This was due to their perception that they had been fairly treated in the selection process, which they valued.
In terms of the FIM design, the managing contractor and consultant
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河南科技大学管理学院毕业论文 representatives appreciated the client’s decision to allow the team to decide how the FIM would be distributed. This action encouraged the potential FIM recipients to perceive the system as fair. Although, the client’s approach to distribution was valued, the interviewees expressed that it was all in vain as the incentive goals were ultimately unattainable. Negative Motivational Drivers
Despite the existence of the five positive motivation drivers above, which focused stakeholder attention on the FIM goals, the managing contractor experienced significant financial pressures, which discouraged them from striving for the stretched scope FIM goals. Table 1.2 summarises the overwhelming negative motivation drivers that influenced the failure of FIM in the project.
CIB World Building Congress 2007 247Table 1.2 Negative Motivation Drivers Motivation Driver Motivation Driver Description
Inequitable risk The risk profile of the Managing Contractor contract was perceived to be inequitable where the managing contractor took on the majority of construction cost risks under the Guaranteed Construction Sum (GCS). With rising market conditions outside of the project team’s control, risks of cost overruns escalated, resulting in major financial pressures. Inadequate Price Negotiation
There was a very little negotiation allowed for in the contract over price between client and managing contractor to establish a fair and accurate Guaranteed Construction Sum based on market conditions.
Late Engagement The managing contractor and subcontractors were appointed too late resulting in a failure to predict market movements and prevented their full input in the design process.
Single goal The failed single goal incentive (based on cost) did not reward performance in other project priority areas such as quality or program. Performance Measurement
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河南科技大学管理学院毕业论文 The exponential curve system used as the performance measurement function was perceived as unfair under difficult financial conditions.
It was perceived by the client, managing contractor, consultant and subcontractor representatives that the contract type discouraged motivation towards the achievement of the financial incentive goals under the market conditions. These interviewees believed it was unlikely that the market conditions could have been predicted, but if the construction risks had been equitably allocated under the contract in the first place, it would have improved their chances to achieve the stretched scope goals. Simply, under this contract, the managing contractor was unable to control construction costs, limiting the opportunity they had to invest money into achieving the stretched scope.
The managing contractor and consultant representatives also felt that the managing contractor was under significant pressure from their client to negotiate and submit the GCS under an unrealistic time frame, in order to provide timely input to their project budgets, with a minimal negotiation process. This, in combination with the lateness in the managing contractor’s appointment during design development, (decreasing their ability to provide cost-saving design options because the building design was already well established) compounded the financial pressures on the project.
248 CIB World Building Congress 2007As such, these cost pressures became so overwhelming that the stretched
scope goals could not be completed, resulting in failure to achieve FIM reward. The managing contractor, consultant and subcontractor representatives also noted that the involvement of subcontractors in the design stage may have assisted the project team in identifying early cost saving design options and improve the accuracy of the GCS through negotiated subcontractor tendering.
The managing contractor, consultant and subcontractor
representatives felt that there should have been multiple goals set in the allocation of the $1.6 million incentive pool. They felt that the singular stretched scope incentive goal was too restrictive and in the end, they were
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河南科技大学管理学院毕业论文 not duly rewarded for other positive project outcomes such as schedule performance and value engineering efficiency.
Another area of the FIM design that was perceived to have had a negative impact on motivation under the project conditions was the exponential measurement equation. Under the difficult financial conditions on the project, the managing contractor and consultant representatives felt that this was an unfair measurement system (also supported by one of the client representatives). They felt that the incentive amount on offer to achieve a proportion of the stretched scope work items was not enough, based on the effort required to achieve it. This significantly impacted on their commitment to achieving the FIM goals. 5. LESSONS LEARNT
The management team, especially the managing contractor, experienced significant financial pressures due to a rising subcontractor market. It was unlikely that the project team could have predicted the extent of the increase, however these pressures could have been minimised though an improved GCS negotiation process, equitable risk allocation and earlier involvement of the managing contractor and subcontractors in the design stages. It was generally agreed by the interviewees that the financial pressures, combined with perceived injustices in the FIM design and project conditions, decreased the effectiveness of the FIM. Analysis of the dynamics underpinning the motivation drivers
discussed above indicates that clients could design more effective FIMs and associated contract conditions. Indeed, five recommendations for clients to improve FIM performance can be identified:
Recommendation One: The incentive participant should have control over their performance to achieve the FIM goals
In the project, the managing contractor, consultants and
subcontractors felt they had very little control over their ability to achieve the FIM goals, which ultimately led to the failure of the FIM. To effectively improve controllability of FIM performance in a rising market, it is
CIB World Building Congress 2007 249recommended that construction risks are shared equitability between the
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河南科技大学管理学院毕业论文 client and contractor, and that flexibility is provided in the contract to handle unforeseen conditions.
According to von Branconi & Loch (2003), ensuring that there is an
equal balance of power and ‘room to manoeuvre’ in the allocation of risks between project parties will allow a joint response to unforeseen circumstances and prevent disputes and retaliatory action. However, they also argue that the appropriate allocation of risks in construction contracts cannot completely solve the issues associated with unforeseen project circumstances, which is where trust and informal relationship links fostered through cooperative behaviour can promote ‘win-win’ outcomes. Financial pressures on the case project were also compounded by inaccuracies in GCS estimates due to a lack of informed negotiation and late managing contractor and subcontractor engagements. It is
recommended that if a MC-D+CM (GCS) contract is applied to projects of similar nature in the future, then an open book negotiation process occurs over the schematic design and design development stages to develop a fair and accurate GCS. The managing contractor should be appointed earlier than in the case project (usually at the beginning of schematic design) to improve buildability knowledge during design. This will allow the managing contractor and their consultant’s greater opportunity to manage construction cost risks.
The accuracy of the GCS can be further increased with the early appointment of subcontractors under a two-stage tender. Under this arrangement, the subcontractor provides input to design for a design fee and negotiates with the managing contractor on a fair trade package price. This can decrease the managing contractor’s risk of market movements in subcontractor prices.
Recommendation Two: Incentive goals should cover all project performance areas, based on overall project priorities
The project performance goals and the FIM goals were misaligned. Although the project parties achieved good performance in the mandatory client goals, there was potential to improve this performance by increasing the scope of the FIM goals to incorporate other project performance priorities, harnessing the full power of the FIM. A wide range of
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河南科技大学管理学院毕业论文 performance goals (e.g. cost, schedule and quality goals) can assist in directing the incentive participants towards the right project performance areas, preventing single goal distortion, and maximising motivation through multiple reward opportunities.
Recommendation Three: Incentive measurement process and reward distribution should to be perceived to be fair and equitable. The exponential measurement equation, as the performance measurement tool, was generally perceived to be unfair under the conditions experienced in the project. According to procedural justice
250 CIB World Building Congress 2007theory principles, one way to promote fairness in performance assessment
is to allow participants a ‘voice’ in the process decisions, providing them improved control over the process (Greenburg, 2004). This can ensure that the FIM assessment process is perceived to be fair.
It is also important that the incentive reward is fairly allocated to the contract parties who contributed to performance, particularly within groups with a high level of task interdependence and collectivism (Colquitt, 2004), such as in a building project. The distribution plan was devised by the project team which promoted a perception of equity in how the reward would be distributed if goals were achieved. If the distribution plan is perceived to be inequitable, it can have a negative effect on team performance resulting in individualistic behaviour.
Recommendation Four: FIM goals and measurement processes should be flexible
In the project, it was initially perceived by the project team that the incentive goals were achievable. However, once it was realised this was unlikely because of overwhelming financial pressures outside of the project parties’ control, the motivation power of the FIM was lost. It was perceived by the managing contractor, consultants and subcontractors that if the FIM was adaptable to the changing project conditions, the motivational power of the FIM could have been redirected toward other relevant projects
priorities. Kerr (1999) refers to this as ‘reversibility’ in an organisational management setting and emphasises that a reward system should be reversed if it is not achieving the desired effect.
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河南科技大学管理学院毕业论文 Recommendation Five: Relationship management should be considered when designing a FIM strategy
Drivers associated with the relationship management process were
identified as having a positive impact on motivation, including the promotion of the relationship through the relationship workshops, empathetic client representatives’ behaviour, emphasis on non-price criteria tender selection and the potential for future work with the government client. Although the ‘above business as usual’ FIM goals were not achieved, the project team did achieve their mandatory performance requirements and the managing contractor displayed a willingness to absorb significant financial losses to do so. This was generally attributed to the project relationship and the desire to maintain a good reputation. The identification of such drivers indicates that government clients should consider incorporating relationship management processes in future projects of similar nature in combination with carefully designed FIMs to promote ‘overall’ motivation and prevent calculative individualistic behaviour. 6. CONCLUSION
CIB World Building Congress 2007 251This paper has focused on the application of a failed FIM as it was thought
there would be useful lessons to be derived from an anatomy of failure, and indeed that seems to be the case. The paper has discussed the motivation drivers within the project context that influenced its failure. The findings challenge a general assumption in the industry that motivation is automatically assured if a FIM is present. In the case project, the FIM was applied with good intentions - to promote motivation through positive reward - however, due to perceived flaws in the FIM design and procurement approach, it resulted in failure.
The results suggest that the motivation environment in an
Australian Government large building project is complex and to gain the greatest motivational power from FIMs, they should be situated within a complementary range of interrelated systems that promote their positive nature, such as relational contracts with equitable risk sharing regimes. Without consideration of ‘supporting’ procurement initiatives, the FIM is likely to result in less than ideal outcomes.
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河南科技大学管理学院毕业论文 This paper has provided a basis for future exploration of the
motivation drivers influencing the effectiveness of FIMs. Further research by the authors will involve investigation of the relative weightings of identified motivational drivers, to provide more focused guidance for advice to clients. It is also intended to design an experiment that tests which is more important to project outcomes – relationship management initiatives or FIM initiatives, as the research reported here indicates that the impact of investment in relationships may be greater than that of investment in financial rewards. 7. REFERENCES
Australian Productivity Commission (APC), 1999, Work arrangements on large capital city building projects, Labour Market Research Report, (Canberra: AusInfo, Australian Productivity Commission).
Australian Procurement and Construction Council (APCC), 1997, Construct Australia: Building a better construction industry in Australia (Perth: APCC).
Bower, D., Ashby, G., Gerald, K., and Smyk, W., 2002, Incentive mechanisms for project success. Journal of Management in Engineering, 18(1), 37-43.
Bresnen, M. and Marshall, N., 2000, Motivation, commitment and the use of incentives in partnerships and alliances. Construction Management and Economics, 18, 587-598.
Broome, J. and Perry, J., 2002, How practioners share fractions in target cost contracts. International Journal of Project Management, 20, 59-66. Cole, T. R. H., 2002. Overview of the nature and operations of the building and construction industry, Discussion Paper 1, Royal Commission into the Building and Construction Industry, (Canberra: Commonwealth of Australia).
252 CIB World Building Congress 2007Colquitt, J. A., 2004, Does justice of the one interact with the justice of the
many? Reactions to procedural justice in teams. Journal of Applied Psychology, 89(4), 633-646.
Greenberg, J., 2004, Managing workplace stress by promoting organizational justice. Organizational Dynamics, 33(4), 352-365.
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河南科技大学管理学院毕业论文 Hampson, K.D., Peters, R. J., Walker, D.H.T., Tucker, S., Mohamed, S., Ambrose, M. and Johnston, D., 2001, Case Study of the Acton Peninsula Development, (Brisbane: QUT)
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